Head of Compliance & MLRO

Head of Compliance & MLRO

  • Location


  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:

    Market related

  • Contact:

    Grace Downey

  • Contact email:


  • Contact phone:


  • Job ref:


  • Published:

    about 1 year ago

  • Expiry date:


Ensure the business maintains an environment which meets all applicable regulatory requirements and expectations, and to carry out the Compliance Oversight Function (CF10) and the MLR Function (CF11) by:

  • Ensure maintenance of the compliance environment which meets all regulatory requirements and expectations incl. review, development/ enhancements of the compliance manual and documents.
  • Work closely with all areas of the business to promote appropriate discipline, control and compliance implementation of anti-money laundering policies, procedures and training.
  • Assisting with reviewing and implementing FCA regulations (the role assists with the communication between a number of service providers, including the firm's external auditors, IT providers and compliance consultants).
  • Assist in organising the training of personnel to ensure awareness of and understanding by all personnel of their responsibilities in relation to compliance.
  • Preparing and maintaining the ICAAP document and ensure the firm's adhere to capital requirement at all time.
  • Be a member of the governing body and risk committee and attend regular committee meetings

On the person specification,

  • Minimum 5 years' CF10/11 experience in UK regulated hedge fund or major bank
  • Attitude that is able and willing to challenge
  • Product knowledge: FX, Fixed Income, Rates and Equities
  • 2:1 Graduate degree level education or higher from leading university
  • IMC / CFA or equivalent qualifications
  • Highly motivated and organised individual with attention to detail
  • Ability to work alone and under pressure with strong communication skills
  • Strong Desktop IT skills


  • Positive attitude to support business needs / commercial awareness
  • Experience using technology to effectively monitor compliance with areas such as market abuse, conflicts and money laundering regulations
  • Experience with overseas regulators e.g. SEC,CTFC,FINMA
  • Legal or Financial Qualification